Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Cass J Jenkins | 4304584 | 3 | 04/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Phillip Wurster | 2774382 | 2 | 04/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 04/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dante P Battaglia | 2710151 | 3 | 04/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Craig Fielder | 2714569 | 2 | 04/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Adam Scher | 3126743 | 1 | 04/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Daniel Nimrod | 2393847 | 1 | 04/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John D Clinger | 4322769 | 1 | 04/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Anderson | 2194562 | 3 | 04/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Hinds | 4654928 | 1 | 04/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |